Manager/Senior Manager - Mutual Fund Compliance

Relevant & Total years of Experience

- Minimum 5-7 yrs of total experience

Educational Qualification

- ACS and preferably LLB

Principal Accountabilities

Handling monitoring of compliance with Mutual Funds and Portfolio Managers Regulations and also with the internal policies.

Preparation and updation of various compliance calendars.

Handling compliance with the code of ethics prescribed by the AMC - ensuring that the system installed for the same is functioning appropriately, handling queries of employees, imparting training to staff, liaising with the technical staff to make enhancements to the system, wherever required.

Handling compliance with the Know Your Customer regulations; making amendments to the internal policy, conducting meetings of the KYC committee, responding to various regulatory authority, scrutinising the investor transactions and submitting suspicious transaction report to the regulatory authorities, imparting training to employees on KYC / PMLA.

Preparation and filing of draft Scheme Information Document, Key Information Memorandum, Statement of Additional Information, notices and addenda.

Preparation and submission of periodic reports to the board of directors and committees.

In case of any regulatory change ensuring dissemination of information to all stakeholders, highlighting the impact of the change to the organisation, co-ordinating with various departments to ensure that appropriate checks and balances are put in place to comply with the change and regular monitoring of the same.